Andrew Harpp, financial advisor Charlotte NC
93 score

Andrew Harpp

CRD Number: 5537885
Current Firm: Ubs Financial Services Inc.

Andrew Harpp (CRD# 5537885) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Charlotte, NC and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Charlotte, NC Oct 2013 - Current 3
Valic Financial Advisors Greensboro, NC Jul 2013 - Oct 2013 < 1
Tiaa Charlotte, NC Nov 2012 - May 2013 < 1
Tiaa-cref Individual & Institutional Services, LLC Charlotte, NC Nov 2012 - Apr 2013 < 1
The Vanguard Group, Inc. Charlotte, NC Apr 2012 - Nov 2012 < 1
Melting Pot Charlotte, NC Mar 2011 - Oct 2012 1
Merrill Lynch Charlotte, NC May 2011 - Mar 2012 < 1
Edward Jones St Louis, MO May 2008 - Mar 2011 2
Melting Pot Charlotte, NC May 2006 - Apr 2009 2
Melting Pot Charlotte, NC May 2006 - Apr 2009 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2008
Contact Info for Andrew R. Harpp
Phone Number: 201-352-3000
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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